STEWARDSHIP AND OVERSIGHT AGREEMENT ON PROJECT … · requests shall be documented in accordance...

1

STEWARDSHIP AND OVERSIGHT AGREEMENT ON PROJECT ASSUMPTION AND PROGRAM OVERSIGHT

BY AND BETWEEN FEDERAL HIGHWAY ADMINISTRATION, MONTANA DIVISION

AND THE STATE OF MONTANA DEPARTMENT OF TRANSPORTATION

SECTION I. BACKGROUND AND INTRODUCTION

The Federal-aid Highway Program (FAHP) is a federally-assisted program of State-selected projects. The Federal Highway Administration (FHWA) and the State Departments of Transportation have long worked as partners to deliver the FAHP in accordance with Federal requirements. In enacting 23 U.S.C. 106(c), as amended, Congress recognized the need to give the States more authority to carry out project responsibilities traditionally handled by FHWA. Congress also recognized the importance of a risk-based approach to FHWA oversight of the FAHP, establishing requirements in 23 U.S.C. 106(g). This Stewardship and Oversight (S&O) Agreement sets forth the agreement between the FHWA and the State of Montana Department of Transportation (State DOT) on the roles and responsibilities of the FHWA and the State DOT with respect to Title 23 project approvals and related responsibilities, and FAHP oversight activities. The scope of FHWA responsibilities, and the legal authority for State DOT assumption of FHWA responsibilities, developed over time. The U.S. Secretary of Transportation delegated responsibility to the Administrator of the FHWA for the FAHP under Title 23 of the United States Code, and associated laws. (49 CFR 1.84 and 1.85) The following legislation further outlines FHWA’s responsibilities:

• Intermodal Surface Transportation Efficiency Act (ISTEA) of 1991; • Transportation Equity Act for the 21st Century (TEA-21) of 1998; • Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users

(SAFETEA-LU) of 2005; and • Moving Ahead for Progress in the 21st Century Act (MAP-21) of 2012 (P.L. 112-141).

The FHWA may not assign or delegate its decision-making authority to a State Department of Transportation unless authorized by law. Section 106 of Title 23, United States Code (Section 106), authorizes the State to assume specific project approvals. For projects that receive funding under Title 23, U.S.C., and are on the National Highway System (NHS) including projects on the Interstate System, the State may assume the responsibilities of the Secretary of the U.S. Department of Transportation under Title 23 for design, plans, specifications, estimates, contract awards, and inspections with respect to the projects unless the Secretary determines that the assumption is not appropriate. (23 U.S.C. 106(c)(1)) For projects under Title 23, U.S.C. that are not on the NHS, the State shall assume the responsibilities for design, plans, specifications,

2

estimates, contract awards, and inspections unless the State determines that such assumption is not appropriate. (23 U.S.C. 106(c)(2))

For all other project activities which do not fall within the specific project approvals listed in Section 106 or are not otherwise authorized by law, the FHWA may authorize a State DOT to perform work needed to reach the FHWA decision point, or to implement FHWA’s decision. However such decisions themselves are reserved to FHWA.

The authority given to the State DOT under Section 106(c)(1) and (2) is limited to specific project approvals listed herein. Nothing listed herein is intended to include assumption of FHWA’s decision-making authority regarding Title 23, U.S.C. eligibility or Federal-aid participation determinations. The FHWA always must make the final eligibility and participation decisions for the Federal-aid Highway Program.

Section 106(c)(3) requires FHWA and the State DOT to enter into an agreement relating to the extent to which the State DOT assumes project responsibilities. This Stewardship and Oversight Agreement (S&O Agreement), includes information on specific project approvals and related responsibilities, and provides the requirements for FHWA oversight of the FAHP (Oversight Program), as required by 23 U.S.C. 106(g).

SECTION II. INTENT AND PURPOSE OF S&O AGREEMENT

The intent and purpose of this S&O Agreement is to document the roles and responsibilities of the FHWA’s Montana Division Office (FHWA or Division) and Montana Department of Transportation (State DOT) with respect to project approvals and related responsibilities, and to document the methods of oversight which will be used to efficiently and effectively deliver the FAHP.

The Project Action Responsibility Matrix, Attachment A to this S&O Agreement and as further described in Section VIII of this S&O Agreement, identifies FHWA FAHP project approvals and related responsibilities State DOT assumes from FHWA on a program-wide basis pursuant to 23 U.S.C. 106(c) and other legal authorities. Upon execution of this agreement, Attachment A shall be controlling and except as specifically noted in Attachment A, no other agreements, attachments, or other documents shall have the effect of delegating or assigning FHWA approvals to State DOT on a program-wide basis under 23 U.S.C 106 or have the effect of altering Attachment A.

SECTION III. ASSUMPTION OF RESPONSIBILITIES FOR FEDERAL-AID PROJECTS ON THE NATIONAL HIGHWAY SYSTEM A. The State DOT may assume the FHWA’s Title 23 responsibilities for design; plans,

specifications, and estimates (PS&E); contract awards; and inspections, with respect to Federal-aid projects on the National Highway System (NHS) if both the State DOT and FHWA determine that assumption of responsibilities is appropriate.

B. Approvals and related activities for which the State DOT has assumed responsibilities as

shown in Attachment A will apply program wide unless project specific actions for which the Division will carry out the approval or related responsibilities are documented in

3

accordance with the FHWA Project of Division Interest/Project of Corporate Interest Guide (FHWA PoDI/PoCI Guide) located at: http://www.fhwa.dot.gov/federalaid/stewardship/

C. The State DOT may not assume responsibilities for Interstate projects that are in high risk

categories. (23 U.S.C. 106(c)(1)) D. The State DOT is to exercise any and all assumptions of the Secretary responsibilities for

Federal-aid projects on the NHS in accordance with Federal laws, regulations and policies.

SECTION IV. ASSUMPTION OF RESPONSIBILITIES FOR FEDERAL-AID PROJECTS OFF THE NATIONAL HIGHWAY SYSTEM

A. The State DOT shall assume the FHWA’s Title 23 responsibilities for design, PS&Es, contract awards, and inspections, with respect to Federal-aid projects off the NHS (non-NHS) unless the State DOT determines that assumption of responsibilities is not appropriate. (23 U.S.C. 106(c)(2))

B. Except as provided in 23 U.S.C.109(o), the State DOT is to exercise the Secretary’s approvals and related responsibilities on these projects in accordance with Federal laws.

C. The State DOT, in its discretion, may request FHWA carry out one or more non-NHS

approvals or related responsibilities listed as “State” in Attachment A on a program-wide basis. For a project specific request, the State may request FHWA carry out any approval or related responsibility listed in Attachment A off the NHS. Such project-specific requests shall be documented in accordance with the FHWA PoDI/PoCI Guide.

D. Pursuant to 23 U.S.C. 109(o), non-NHS projects shall be designed and constructed in

accordance with State laws, regulations, directives, safety standards, design standards, and construction standards.

SECTION V. ASSUMPTION OF RESPONSIBILITIES FOR LOCALLY ADMINISTERED PROJECTS

The State DOT may permit local public agencies (LPAs) to carry out the State DOT’s assumed responsibilities on locally administered projects. The State DOT is responsible and accountable for LPA compliance with all applicable Federal laws and requirements.

4

SECTION VI. PERMISSIBLE AREAS OF ASSUMPTION UNDER 23 U.S.C. 106(c)

An assumption of responsibilities under 23 U.S.C. 106(c) may cover only activities in the following areas:

A. Design, which includes preliminary engineering, engineering, and design-related services directly relating to the construction of a FAHP-funded project, including engineering, design, project development and management, construction project management and inspection, surveying, mapping (including the establishment of temporary and permanent geodetic control in accordance with specifications of the National Oceanic and Atmospheric Administration), and architectural-related services.

B. PS&E, which represents the actions and approvals required before authorization of

construction. The PS&E package includes geometric standards, drawings, specifications, project estimates, certifications relating to completion of right-of-way acquisition and relocation, utility work, and railroad work.

C. Contract awards, which include procurement of professional and other consultant services

and construction-related services to include advertising, evaluating, and awarding contracts.

D. Inspections, which include general contract administration, material testing and quality assurance, review, and inspections of Federal-aid contracts as well as final inspection/acceptance.

E. Approvals and related responsibilities affecting real property as provided in 23 CFR

710.201(i) and any successor regulation in 23 CFR Part 710.

SECTION VII. FEDERAL APPROVALS AND RELATED RESPONSIBILITIES THAT MAY NOT BE ASSUMED BY THE STATE DOT

A. Any approval or related responsibility not listed in Attachment A cannot be assumed by the State without prior concurrence by FHWA Headquarters. The following is a list of the most frequently-occurring approvals and related responsibilities that may not be assumed by the State DOT:

• Civil Rights Program approvals; • Environmental approvals, except those specifically assumed under other agreements.

(23 U.S.C. 326 and 327; programmatic categorical exclusion agreements); • Federal air quality conformity determinations required by the Clean Air Act; • Approval of current bill and final vouchers; • Approval of federally-funded hardship acquisition, protective buying, and 23 U.S.C.

108(d) early acquisition; • Project agreements and modifications to project agreements and obligation of funds

(including advance construction); • Planning and programming pursuant to 23 U.S.C. 134 and 135; • Special Experimental Projects (SEP-14 and SEP-15); • Use of Interstate airspace for non-highway-related purposes;

5

• Any Federal agency approval or determination under the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (Uniform Act), as amended, and implementing regulations in 49 CFR Part 24;

• Waivers to Buy America requirements; • Approval of Federal participation under 23 CFR 1.9(b); • Provide pre-approval for preventive maintenance project (until FHWA concurs with

State DOT procedures); • Requests for credits toward the non-Federal share of construction costs for early

acquisitions, donations, or other contributions applied to a project; • Functional replacement of property; • Approval of a time extension for preliminary engineering projects beyond the 10-year

limit, in the event that actual construction or acquisition of right-of-way for a highway project has not commenced;

• Approval of a time extension beyond the 20-year limit for right of way projects, in the event that actual construction of a road on the right-of-way is not undertaken;

• Determine need for Coast Guard Permit; • Training Special Provision – Approval of New Project Training Programs; and • Any other approval or activity not specifically identified in Attachment A unless

otherwise approved by the FHWA, including the Office of Chief Counsel.

B. For all projects and programs, the State DOT will comply with Title 23 and all applicable non-Title 23, U.S.C. Federal-aid program requirements, such as metropolitan and statewide planning; environment; procurement of engineering and design related service contracts (except as provided in 23 U.S.C. 109(o)); Civil Rights including Title VI of the Civil Rights Act, and participation by Disadvantaged Business Enterprises; prevailing wage rates; and acquisition of right-of-way, etc.

C. This Agreement does not modify the FHWA’s non-Title 23 program approval and related

responsibilities, such as approvals required under the Clean Air Act; National Environmental Policy Act, Executive Order on Environmental Justice (E.O. 12898), and other related environmental laws and statutes; the Uniform Act; and the Civil Rights Act of 1964 and related statutes.

SECTION VIII. PROJECT ACTION RESPONSIBILITY MATRIX Attachment A, Project Action Responsibility Matrix, to this S&O Agreement identifies FAHP project approvals and related responsibilities. The Matrix specifies which approvals and related responsibilities are assumed by the State under 23 U.S.C. 106(c) or other statutory or regulatory authority, as well as approvals and related responsibilities reserved to FHWA. SECTION IX. HIGH RISK CATEGORIES

A. In 23 U.S.C. 106(c), Congress directs that the Secretary shall not assign any approvals or

related responsibilities for projects on the Interstate System if the Secretary determines the project to be in a high risk category. Under 23 U.S.C. 106(c)(4)(B), the Secretary

6

may define high risk categories on a national basis, State-by-State basis, or national and State-by-State basis.

B. The Division has determined there are no high risk categories. SECTION X. FHWA OVERSIGHT PROGRAM UNDER 23 U.S.C. 106(g)

A. In 23 U.S.C. 106(g), Congress directs that the Secretary shall establish an oversight program to monitor the effective and efficient use of funds authorized to carry out the FAHP. This program includes FHWA oversight of the State’s processes and management practices, including those involved in carrying out the approvals and related responsibilities assumed by the State under 23 U.S.C. 106(c). Congress defines that, at a minimum, the oversight program shall be responsive to all areas relating to financial integrity and project delivery.

B. The FHWA shall perform annual reviews that address elements of the State DOT”s

financial management system in accordance with 23 U.S.C. 106(g)(2)(A). FHWA will periodically review the State DOT’s monitoring of sub-recipients pursuant to 23 U.S.C. 106(g)(4)(B).

C. The FHWA shall perform annual reviews that address elements of the project delivery systems of the State DOT, which elements include one or more activities that are involved in the life cycle of project from conception to completion of the project. The FHWA will also evaluate the practices of the State DOT for estimating project costs, awarding contracts, and reducing costs. 23 U.S.C. 106(g)(2) and (3).

D. To carry out the requirements of 23 U.S.C. 106(g), the FHWA will employ a risk management framework to evaluate financial integrity and project delivery, and balance risk with staffing resources, available funding, and the State’s transportation needs. The FHWA may work collaboratively with the State DOT to assess the risks inherent with the FAHP and funds management, and how that assessment will be used to align resources to develop appropriate risk response strategies

Techniques the Division and State DOT may use to identify and analyze risks and develop response strategies include the following:

• Program Assessments; • FIRE Reviews; • Program Reviews; • Certification Reviews; • Recurring or periodic reviews such as the Compliance Assessment Program (CAP);

and • Inspections of project elements or phases.

7

These techniques will be carried out in a manner consistent with applicable Division Standard Operating Procedures or other control documents relating to program assessments, FIRE, program reviews, CAP, etc. The following techniques and processes will be used to carry out the requirements of 23 U.S.C. 106(g):

1. Project oversight:

a. Compliance Assessment Program (CAP) reviews - Reviews of a statistical valid sample of projects using compliance questions for key regulatory questions.

b. Projects of Division/Corporate Interest reviews – review of projects that have an elevated level of risk to the Division (PoDI) or the agency (PoCI).

c. Required project approvals – See Attachment A of this Agreement.

2. Program oversight:

a. Program Risk assessments - Annual assessment and program analysis process employed by functional managers in the Montana Division office. A risk assessment will be made for each of the program areas including: Civil Rights, Construction, Design, Environment, Finance, Operations, Planning, Right of Way, Safety, and Bridge.

b. Required program approvals – See Attachment B of this Agreement.

3. Program Reviews

a. FIRE – Annual financial management review evaluating a state process or system for managing Federal-aid funds. The FIRE program is a risk-based oversight program that every FHWA unit is required to perform annually to continually monitor and certify an effective financial management and internal control system, or take corrective actions to implement effective controls.

b. Compliance Reviews – Focus on meeting applicable Federal and State Laws, FHWA regulations and policies, and acceptability of State/Local Agency policies and/or procedures in meeting Federal/State laws and regulations. Review topics are identified either by FHWA HQ, or through the Division Office annual risk assessment process.

c. Program Evaluation/Quality Improvement Reviews – Focus on improving the quality of processes and products. Review topics are identified either by FHWA HQ, or through the Division Office annual risk assessment process.

d. Process Reviews – A more In-depth evaluation of a specific process within the identified program, and focused on a discrete process possibly involving data

https://www.fhwa.dot.gov/legsregs/directives/orders/toolkit.htm.

8

gathering and analysis. Review topics are identified either by FHWA HQ, or through the Division Office annual risk assessment process.

e. Other reviews – Occasionally an unforeseen issue will arise requiring a review. These do not happen often but when they do the program review SOP is followed to document the review. In addition, some program areas are not identified for review because of perceived low risk. However, similar to riding a fence line looking for breaks, if these program areas have not been reviewed in a while, then they should be looked at to ensure they are still low risk.

4. Technical assistance and training:

a. Promote and identify opportunities for new initiatives and concepts such as: Every Day Counts: http://www.fhwa.dot.gov/everydaycounts/.

SHRP-2: http://www.fhwa.dot.gov/goshrp2/. b. The Division Office provides technical assistance through a number of

resources and activities including meetings, presentations, demonstrations, and on-site field visits. The FHWA Resource Center is available as a support to these efforts.

c. Identify and support delivery of necessary training to state and local partners. One source of training is the National Highway Institute (https://www.nhi.fhwa.dot.gov/default.aspx).

E. Program Responsibility Matrix

Attachment B to this S&O Agreement is the Program Responsibility Matrix that identifies all relevant FHWA program actions, and Division and State DOT program contact offices.

F. Manuals and Operating Agreements

State DOT manuals, agreements and other control documents that have been approved for use on Federal-aid projects are listed in Attachment C to this S&O Agreement.

G. Stewardship and Oversight Indicators

The Division and State DOT may jointly establish Stewardship and Oversight Indicators (Indicators). The Indicators should set targets, track trends, and implement countermeasures and actions when the data is moving away from the desired target direction. Indicators can provide documented evidence that the State DOT assumption of responsibilities is functioning appropriately. Stewardship and Oversight Indicators should be reviewed on an annual basis. If utilized, the Indicators shall be incorporated by reference to this S&O Agreement.

http://www.fhwa.dot.gov/everydaycounts/

http://www.fhwa.dot.gov/goshrp2/

https://www.nhi.fhwa.dot.gov/default.aspx

9

Attachment D to this S&O Agreement identifies all agreed to Indicators between the State DOT and FHWA.

SECTION XI. STATE DOT OVERSIGHT AND REPORTING REQUIREMENTS A. State DOT Oversight and Reporting Requirements

The State DOT is responsible for demonstrating to the FHWA how it is carrying out its responsibilities in accordance with this S&O Agreement. In order to fulfill this responsibility, the State DOT will conduct project and program level activities to ensure compliance with federal and state requirements, maintain adequate project delivery systems, and provide sufficient accounting controls.

At the project level, the State DOT (MDT) will follow the Project Development Process (PDP) and the supporting procedures in its technical manuals. The PDP is an MDT process that FHWA concurs with for use on Federal aid projects. MDT will conduct reviews of project-related submittals as outlined in the PDP. MDT will provide copies of any submittals to FHWA upon request. In cases where MDT determines that a deviation from the standard process is necessary, MDT may consult with FHWA to ensure that project eligibility is maintained. During construction, MDT inspection staff will oversee construction operations in accordance with the MDT Construction Administration Manual. Construction documentation is maintained in hard copy files and electronically. MDT also uses Site Manager for contract administration. MDT provides FHWA direct access to the documentation available on Site Manager as well as other electronic files used to store contract documents. At the program level, MDT, in coordination with FHWA, will continue to develop updates to its manuals as conditions require. MDT maintains qualification requirements for its staff and consultants. As a component of the qualification requirements, MDT implements training on a variety of subjects or requires specific training from outside sources. MDT maintains an AASHTO AMRL accredited laboratory to implement its materials acceptance program. MDT will meet with the FHWA Management Team quarterly or as needed to:

• Endorse annual Risk Assessment process and results, • Discuss any program assessments or reviews in advance of staff involvement, • Mutually agree to all recommendation from process/program evaluations and

reviews,

10

• Discuss program-related issues, • Foster communication between MDT and FHWA, or • Review status of performance measures

B. State DOT Oversight of Locally Administered Projects

B.1. State DOT’s are required to provide adequate oversight of sub-recipients including oversight of any assumed responsibilities the State DOT delegates to a LPA.

B.2. Pursuant to 23 U.S.C. 106(g)(4), the State DOT shall be responsible for

determining that sub-recipients of Federal funds have adequate project delivery systems for locally administered projects and sufficient accounting controls to properly manage such Federal-aid funds. The State DOT is also responsible for ensuring compliance with reporting and other requirements applicable to grantees making sub-awards, such as monthly reporting requirements under the Federal Funding Accountability and Transparency Act of 2006, PL 109-282 (as amended by PL 110-252).

B.3. The State DOT acknowledges that it is responsible for sub-recipient

awareness of Federal grant requirements management of grant awards and sub-awards, and is familiar with and comprehends pass through entity responsibilities (2 C.F.R 200.331 Requirements for Pass-thru Entities). The State DOT shall carry out these responsibilities using the actions, programs, and process described in the FHWA-approved State DOT Local Agency Guide (MDT LAG Manual).

B.4. The State DOT shall assess whether a sub-recipient has adequate project

delivery systems and sufficient accounting controls to properly manage projects, using the actions, programs, and process described in the FHWA-approved State DOT Local Agency Guide (MDT LAG Manual).

B.5 The State DOT shall assess whether a sub-recipient is staffed and

equipped to perform work satisfactorily and cost effectively, and that adequate staffing and supervision exists to manage the Federal project(s), by using the actions, programs, and process described in the FHWA-approved State DOT Local Agency Guide (MDT LAG Manual).

B.6. The State DOT shall assess whether sub-recipient projects receive

adequate inspection to ensure they are completed in conformance with approved plans and specifications, by using the actions, programs, and process described in the FHWA-approved State DOT Local Agency Guide (MDT LAG Manual).

11

B.7. The State DOT shall ensure that when LPAs elect to use consultants for engineering services, the LPA, as provided under 23 CFR 635.105(b), shall provide a full-time employee of the agency to be in responsible charge of the project. The State DOT’s process to ensure compliance with this requirement is documented by using the actions, programs, and process described in the FHWA-approved State DOT Local Agency Guide (MDT LAG Manual).

B.8. The State DOT shall ensure that project actions will be administered in accordance with all applicable Federal laws and regulations. The State DOT will use the actions, programs, and process described in the FHWA-approved State DOT Local Agency Guide (MDT LAG Manual).

The activities for ensuring compliance, at a minimum, oversight should cover these areas:

a. Consultant selection and management; b. Environment; c. Design; d. Civil Rights; e. Financial management including audits and indirect cost allocation

plans; f. Right-of-way; g. Construction monitoring, including Quality Control/Quality

Assurance (QC/QA); and h. Contract administration including the State DOT’s responsibility to

approve a sub-recipient to pursue a contract procurement method other than competitive bidding.

B.9. The State DOT shall document its oversight activities for LPA-administered projects and findings, and how it will share this information with the FHWA. As MDT conducts LPA Oversight activities, MDT provides documentation or findings to FHWA. Both MDT and FHWA have designated LPA Program Managers.

SECTION XII. IMPLEMENTATION AND AMENDMENTS

A. This S&O Agreement will take effect as of the effective date of the signature of the FHWA Montana Division Administrator, who shall sign this S&O Agreement last.

B. The Division and State DOT agree that updates to this Agreement will be considered periodically on a case-by-case basis or when:

• Significant new legislation, Executive orders, or other initiatives affecting the relationship or responsibilities of one or both parties to the S&O Agreement occurs;

12

• Leadership, or leadership direction, changes at the State DOT or FHWA; or

• Priorities shift as a result of audits, public perception, or changes in staffing at either the State DOT or Division Office.

C. The Division and State DOT agree that changes may occur to the contents of the Attachments to this S&O Agreement and documents incorporated by reference into the S&O Agreement. Except as provided in paragraph XII.D and E, changes to the Attachments and documents incorporated by reference will not require the Division and State DOT to amend this S&O Agreement. The effective date of any revisions to one of these documents shall be clearly visible in the header of the revised document. This Agreement and any revised document shall be posted on the Division’s S&O Agreement internet site within five (5) business days of the effective date.

D. Any changes to the high risk categories must be documented by an amendment to this S&O Agreement.

E. Any changes to the Project Action Responsibility Matrix must be approved by the FHWA Office of Infrastructure in writing and documented by an amendment to this S&O Agreement

REMAINDER OF PAGE LEFT BLACK INTENTIONALLY

13

ATTACHMENT A PROJECT ACTION RESPONSIBILITY MATRIX

(As of February 6 2015)

The Division should refer to http://our.dot.gov/office/fhwa.hq/OfficeofInfrastructure/hipa/SO/Resources/ for the latest updated version of this table.

The following matrix identifies Federal-aid highway program (FAHP) project approvals and related responsibilities. The matrix specifies which ones are subject to State assumption under the provisions of 23 U.S.C. 106(c) or other statutory or regulatory authority, as well as those which are reserved to FHWA.

In the column entitled “Projects on the NHS” if an item is marked “FHWA or State,” it means the State may assume the specified approval and related responsibilities if the Division determines the assumption is appropriate. For projects on the NHS, the FHWA may retain any approval or related action in any box marked “FHWA or State”, as deemed appropriate by the Division, by choosing to enter “FHWA” for that box. If the FHWA retains any approval or related action in any box marked “FHWA or State”, the project is a PoDI, and will require a PoDI plan.

For the column marked “Projects off the NHS”, the State must assume all items marked “State” unless the State determines the assumption of a particular item by the State is not appropriate and requests FHWA take responsibility for the action. In such cases, the box should read “FHWA”.

If FHWA retains an action the State could have assumed (on the NHS) or has a right to assume (off the NHS), the affected projects become PoDI projects. 1 Matrix users may find it easier to identify such situations if you mark such instances in the matrix with a note or asterisk (*). Divisions also may wish to include in Attachment A’s introduction information about where readers can find a list of PoDI projects and copies of PoDI plans.

Except as expressly stated in notes to the matrix below, the State cannot assume any item marked only as “FHWA” in either column. Any item marked only “FHWA” is reserved to FHWA because it is outside the scope of 23 U.S.C. 106(c), or otherwise is reserved to FHWA by law. While FHWA may not delegate decision-making authority to a State unless authorized by law, FHWA may authorize a State DOT to perform work needed to reach the decision point, or to implement the decision.]

The following matrix identifies Federal-aid highway program (FAHP) project approvals and 1 The following are considered PoDI projects: Major Projects (>$500M); Appalachian Development Highway Projects; TIGER Discretionary Grant Projects; NHS Projects with Retained FHWA Project Approval; Non-NHS Projects with Retained FHWA Project Approval; and Projects Selected by FHWA for Risk-based Stewardship & Oversight. Regardless of retained project approval actions, any Federal-aid Highway Project either on or off the NHS that the Division identifies as having an elevated level of risk can be selected for risk-based stewardship and oversight and would then be identified as a PoDI. Please see “Projects of Division Interest (PoDI)/Projects of Corporate Interest (PoCI) Guidance (available at http://www.fhwa.dot.gov/federalaid/stewardship/ )

14

related responsibilities on a program-wide basis. The matrix specifies which actions are assumed by the State under the provisions of 23 U.S.C. 106(c) or other statutory or regulatory authority, as well as those which are reserved to FHWA. Projects classified as PoDI projects are not covered by the matrix, as those projects will be governed by a separate PoDI plan that specifies FHWA and State responsibilities for the project.

In the matrix, actions marked with an asterisk (“FHWA*”) are those that FHWA has retained but that could have been assumed by the State through FHWA discretion (on the NHS) or by right (off the NHS). Projects requiring those actions are PoDI projects because of FHWA’s retained authority. Those projects will be governed by a separate PoDI Plan.

The State DOT is responsible for ensuring all individual elements of the project are eligible for FAHP funding, but all final eligibility and participation determinations are retained by FHWA.

PROJECT ACTION RESPONSIBILITY MATRIX (as of February 6, (Excluding PoDIs, which are subject to separate PoDI Plans)

2015)

ACTION AGENCY RESPONSIBLE

PROJECTS ON THE NHS PROJECTS OFF THE NHS

Ensure project in Statewide Transportation Improvement Program (STIP)/Transportation Improvement Program (TIP)

STATE STATE

Identify proposed funding category

STATE(1) STATE(1)

Obligate funds/approve Federal-aid project agreement, modifications, and project closures (project authorizations) (Note: this action cannot be assumed by State)

FHWA FHWA

Authorize current bill (Note: this action cannot be assumed by State)

FHWA FHWA

Review and Accept Financial Plan and Annual Updates for Federal Major Projects over $500 million [23 U.S.C. 106(h)] (Note: this action cannot be assumed by State)

FHWA FHWA

Review Cost Estimates for Federal Major Projects over $500 million [23 U.S.C. 106(h)] (Note:

FHWA FHWA

15


2015)



this action cannot be assumed by State)

Develop Financial Plan for Federal Projects between $100 million and $500 million. [23 U.S.C. 106(i)]

STATE STATE

All EA/FONSI, EIS/ROD, 4(f), 106, 6(f) and other approval actions required by Federal environmental laws and regulations. (Note: this action cannot be assumed by STATE except under 23 U.S.C. 327)

FHWA(2) FHWA(2)

Categorical Exclusion approval actions (Note this action cannot be assumed by the State except through an assignment under 23 U.S.C. 326 or 327, or through a programmatic agreement pursuant to Section 1318(d) of MAP-21 and 23 CFR 771.117(g)))

FHWA(2) FHWA(2)

Consultant Contract Selection STATE (3) STATE (3) Sole source Consultant Contract Selection STATE (3) STATE (3)

Approve hiring of consultant to serve in a “management” role (Note: this action cannot be assumed by State) [23 CFR 172.9]

FHWA FHWA

Approve consultant agreements and agreement revisions (Federal non-Major Projects) [23 CFR 172.9]

STATE STATE

Approve consultant agreements and agreement revisions on Federal Major Projects [23 CFR 172.9] (Note: this action cannot be assumed by State)

FHWA FHWA

Approve exceptions to design standards [23 CFR 625.3(f)]

STATE STATE

16


2015)



Interstate System Access Change [23 USC 111] (Note: this action cannot be assumed by State)

FHWA N/A

Interstate System Access Justification Report [23 USC 111] (Note: action may be assumed by State pursuant to 23 USC 111(e))

FHWA* N/A

Airport highway clearance coordination and respective public interest finding (if required) [23 CFR 620.104]

STATE STATE

Approve Project Management Plan for Federal Major Projects over $500 million [23 USC 106(h)] (Note: this action cannot be assumed by State)

FHWA FHWA

Approve innovative and Public-Private Partnership projects in accordance with SEP-14 and SEP-15 (Note: this action cannot be assumed by State)

FHWA FHWA

Provide pre-approval for preventive maintenance project (until FHWA concurs with STATE procedures) (Note: this action cannot be assumed by State)

FHWA FHWA

Provide approval of preliminary plans for unusual/complex bridges or structures on the Interstate. [23 USC 109(a) and FHWA Policy]

FHWA (4) N/A

Provide approval of preliminary plans for unusual/complex bridges or structures (non-Interstate). [23 USC 109(a) and FHWA Policy]

STATE (4) STATE

Approve retaining right-of-way encroachments [23 CFR 1.23 (b) & (c)]

STATE STATE

Approve use of local force STATE STATE

17


2015)



account agreements [23 CFR 635.104 & 204] Approve use of publicly owned equipment [23 CFR 635.106] STATE STATE

Approve the use of products, processes [23 CFR 635.411]

proprietary STATE STATE

Concur in use of publicly furnished materials [23 CFR 635.407]

STATE STATE

Make feasibility/practicability determination for allowing authorization of construction prior to completion of ROW clearance, utility and railroad work [23 CFR 635.309(b)]

FHWA* for Interstate STATE for Non Interstate STATE

Make public interest finding on whether State may proceed with bid advertisement even though ROW acquisition/relocation activities are not complete for some parcels [23 CFR 635.309(c)(3)]

FHWA for Interstate STATE for Non-Interstate STATE

Ensure compliant ROW certificate is in place [23 CFR 635.309(c)]

STATE STATE

Approve Hardship and Protective Buying [23 CFR 710.503] (If a Federal-aid project) (Note: this FHWA FHWA action cannot be assumed by State) Approve Interstate Real Property Interest Use Agreements [23 CFR 710.405] (Note: this action cannot be assumed by State)

FHWA N/A

Approve non-highway use and occupancy [23 CFR 1.23(c)]

FHWA for Interstate STATE for Non-Interstate (3) STATE (3)

Approve disposal at less than fair FHWA FHWA

18


2015)



market value of federally funded right-of-way, including disposals of access control [23 U.S.C. 156] (Note: this action cannot be assumed by State) Approve disposal at fair market value of federally funded right-of-way, including disposals of access control [23 CFR 710.409] (Note: 23 CFR 710.201 authorizes FHWA and STATE to agree to scope of property-related oversight and approvals for all actions except those on the Interstate System)

FHWA for Interstate STATE for Non-Interstate (3) STATE (3)

Requests for credits toward the non-Federal share of construction costs for early acquisitions, donations or other contributions applied to a project (note: this action cannot be assumed by State)

FHWA FHWA

Federal land transfers [23 CFR 710, Subpart F] (Note: this action cannot be assumed by State)

FHWA FHWA

Functional replacement of property [23 CFR 710.509] (Note: this action cannot be assumed by State)

FHWA FHWA

Accept Transportation Management Plans (23 CFR 630.1012(b))

STATE STATE

Approval of System Engineering Analysis (for ITS) [23 CFR 940.11]

STATE STATE

Approve PS&E [23 CFR 630.201] STATE STATE

Authorize advance construction and conversions [23 CFR 630.703 & 709] (Note: this action cannot be assumed by State)

FHWA FHWA

19


2015)



Approve utility or railroad force account work [23 CFR 645.113 & 646.216]

STATE STATE

Approve utility and railroad agreements [23 CFR 645.113 & 646.216]

STATE STATE

Approve use of consultants by utility companies [23 CFR 645.109(b)]

STATE STATE

Approve exceptions to maximum railroad protective insurance limits [23 CFR 646.111]

STATE STATE

Authorize (approve) advertising for bids [23 CFR 635.112, 309]

STATE STATE

Approve cost-effectiveness determinations for construction work performed by force account or by contract awarded by other than competitive bidding [23 CFR 635.104 &.204]

STATE STATE

Approve emergency determinations for contracts awarded by other than competitive bidding

[23 CFR 635.104 &.204]

STATE STATE

Approve construction engineering by local agency [23 CFR 635.105] STATE STATE

Approve advertising period less than 3 weeks [23 CFR 635.112] STATE STATE

Approve addenda during advertising period [23 CFR 635.112]

STATE STATE

Concur in award of contract [23 CFR 635.114] STATE STATE

Concur in rejection of [23 CFR 635.114]

all bids STATE STATE

Approval of Design-Build Requests-for-Proposals and Addenda [23 CFR 635.112]

STATE STATE

20


2015)



Approve changes and extra work [23 CFR 635.120] STATE STATE

Approve contract time [23 CFR 635.120]

extensions STATE STATE

Concur in use of mandatory borrow/disposal sites [23 CFR 635.407]

STATE STATE

Accept materials certification [23 CFR 637.207] STATE STATE

Concur in settlement of contract claims [23 CFR 635.124] STATE STATE

Concur in termination of construction contracts [23 CFR 635.125]

STATE STATE

Waive Buy America provisions [23 CFR 635.410] (Note: this action cannot be assumed by State)

FHWA FHWA

Final inspection/acceptance of completed work [23 USC 114(a)]

STATE STATE

Approval of Disadvantaged Business Enterprise (DBE) Project Contract Goal set by the STATE STATE State DOT under 49 CFR 26.51(d). [49 CFR 26.51(e)(3)] Acceptance of Bidder’s Good Faith Efforts to Meet Contract Goal [49 CFR 26.53] or of Prime Contractor’s Good Faith Efforts to Find Another DBE Subcontractor When a DBE Subcontractor is Terminated or Fails to Complete Its Work [49 CFR 26.53(g)] (Note: this action cannot be performed by the FHWA)

STATE STATE

Equal Employment Opportunity (EEO) Contract Compliance Review 23 CFR Part 230, Subpart D]).

STATE STATE

21

PROJECT ACTION RESPONSIBILITY MATRIX (as of February 6, 2015) (Excluding PoDIs, which are subject to separate PoDI Plans)

AGENCY RESPONSIBLE ACTION


Training Special Provision – Approval of Project Goal for training slots or hours [23 CFR Part 230, Subpart A]

STATE STATE

Training Special Provision – Approval of New Project Training Programs (Note: this action FHWA FHWA cannot be assumed by State) [23 CFR 230.111(d), (e)]

FOOTNOTES: (1) State is responsible for ensuring that all individual elements of the project are eligible. FHWA will check that the scope of the project as described in submitted project agreement is eligible for the category of funding sought. All final eligibility and participation determinations are retained by FHWA. (2) If there is a 23 U.S.C. 326 or 325 assignment or PCE agreement, decisions are handled in accordance with those assignments or agreements. (3) State’s process and modifications to, or variation in process, require FHWA approval. (4) Unusual/Complex bridges and structures are those that the Division determines to have unique foundation problems, new or complex designs, exceptionally long spans, exceptionally large foundations, complex hydrologic (including climate change and extreme weather events) aspects, complex hydraulic elements or scour related elements, or that are designed with procedures that depart from currently recognized acceptable practices (i.e., cable-stay, suspension, arch, segmental concrete, moveable, truss, tunnels, or complex geotechnical walls or ground improvement systems)

22

ATTACHMENT B PROGRAM RESPONSIBILITY MATRIX

PROGRAM ACTION RESPONSIBILITY The following matrix is an example list of program actions. The Division should refer to (link removed) for the latest updated version which can be incorporated into the agreement or referenced as a control document. Modify the matrix to reflect the Division and State “Responsible Program Office.” The primary office of contact should be listed, rather than an individual or the approving official.

FHWA

Activity Authority Frequency Due Date FHWA HQ Program

Office

Division Responsible

Program Office

State DOT Responsible

Program Office Remarks

State will monitor appropriations, allotments and

Appropriations, Allotments, Obligations

31 USC 1341(a)(1)(A)& (B); 31 USC 1517(a); 23 USC 118(b), 23 USC 121

As needed Not Applicable

Office of Chief Financial Officer

Administrative Team Administration

obligations to ensure that all funding is used efficiently within each quarter and use all Obligation Authority (OA) by the end of the year.

Approval of Indirect Cost Allocation Plans (ICAPs)

2 CFR Part 200 Subpart E; ASMBC-10 As needed Not

Applicable Office of Chief

Financial Officer Administrative

Team Administration

The State will certify that the ICAP was prepared in accordance with 2 CFR 200 Subpart E.

http://our.dot.gov/office/fhwa.hq/OfficeofInfrastructure/hipa/SO/Resources/

23

FHWA


Office


Program Office



State will continue to provide oversight and conduct reviews to ensure Federal-aid

FIRE Program Activities FHWA Order 4560.1C (or as superseded) Ongoing Office of Chief

Financial Officer Administrative

Team Administration or N/A

compliance. FHWA will review and monitor. State responsibilities include multiple tasks in support of risk assessments, conducting reviews and implementation of recommendations.

Audit Coordination/FHWA Financial Statement Audit/State External Audit Reviews/State Internal Audit Reviews

FMFIA, 2 C.F.R Part 200, Subpart F; ; GAAP, CFO Act of 1990; DOT Order 8000.1C




State assures corrective action is taken to resolve audit findings and FHWA will monitor activities to ensure implementation.

Improper Payments Information Act of

Improper Payments Review

2002, PL 107-300, Improper Payments Elimination and Recovery Act of 2010, PL 111-204, Improper Payments Elimination and Recovery Improvement Act of 2012, PL 112-248

Annually Office of Chief Financial Officer


State will provide all information necessary to document sampled payments and FHWA offices will review and complete appropriate data submittal forms.

State will submit

Transfer of Funds between programs or to other FHWA offices or agencies as requested by State

23 USC 126, 23 USC 132, and FHWA Order 4551.1


Office of Financial

Chief Officer


requests for transfer and FHWA approves and processes the funding transfers between programs, to other States, to other agencies, and to FHWA HQ, Federal Lands, or Research offices.

24


Office

FHWA Division

Responsible Program

Office



Reviews of State Transportation Departments Financial Management Systems - Financial Integrity

23 USC 106(g)(2)(A) Annually Not Applicable



23 USC 106(g)(2)(A) states that the Secretary shall perform annual reviews that address elements of the State transportation departments’ financial management systems that affect projects approved under subsection (a).

Review Adequacy of Sub-recipient Project Delivery Systems and Sufficient Accounting Controls to Manage Federal Funds

23 USC 106(g)(4)(A)(i) As needed Not Applicable



Periodic Reviews of States Monitoring of sub-recipients

23 USC 106(g)(4)(B) As needed Not Applicable

Office of Infrastructure


Approval of Increased Federal Share Agreement (Sliding Scale)

23 USC 120(b)(2)

As determined by the Federal

Share Agreement

Not Applicable



A State must enter into an agreement with FHWA for use of the increased Federal share allowable under this section, which must be reviewed and updated periodically as agreed to in the agreement. States must demonstrate that they are in compliance with the statute and the agreement.

Prepare / Review Title VI Plan Accomplishments and Next Year's Goals

23 CFR 200.9(b)(10) Annually 1-Oct Office of Civil Rights Program Team Civil Rights Division office reviews

and comments.

25


Office

FHWA Division

Responsible Program

Office



Prepare / EEO Contractor Compliance Plan accomplishments and next year's goals

23 CFR 230, Subpart C, Appendix A, Part I, III

Annually 1-Oct Office of Civil Rights Program Team Civil Rights Division office reviews

and comments.

Prepare / Review State Internal EEO Affirmative Action Plan (Title VII) Accomplishments and Goals

23 CFR 230.311 Annually 1-Oct Office of Civil Rights Program Team Civil Rights Courtesy copy to HQ.

Review DBE Program Revisions 49 CFR 26.21(b)(2) As needed Not

Applicable Office of Civil

Rights Program Team Civil Rights Division sends to HCR for review and approval as

Prepare / DBE Uniform Awards and Commitment Report

49 CFR 26, Appendix B Semi-Annual

June 1st December

1st

Office of Civil Rights Program Team Civil Rights Division Office reviews

and sends to HCR

Prepare / Annual Analysis and Corrective Action Plan (if necessary)

49 CFR 26.47(c) Annual (as necessary)

December 31st

Office of Civil Rights Program Team Civil Rights

Division Office approves sends copy HCR

to

Prepare / State DBE Program Goals 49 CFR 26.45(f)(1) Triennial August 1st Office of Civil

Rights Program Team Civil Rights

Division reviews and approves;HCC provides legal sufficiency review and approval sends copy to HCR

Prepare / Review On-the-Job-Training (OJT) goals & accomplishments

23 CFR 230.111(b) Annually TBA Office of Civil Rights Program Team Civil Rights Division office reviews

and comments.

Approval of OJT and DBE Supportive Services fund requests

23 CFR 230.113 & 23 CFR 230.204 Annual TBA Office of Civil

Rights Program Team Civil Rights Division recommends approval submits to HCR for final approval

Return of any unused discretionary grant program funding

23 CFR 230.117(2) Annual TBA Office of Civil Rights Program Team Civil Rights Division works with

HCR and CFO

Prepare / Review of Report on Supportive Services (OJT & DBE)

23 CFR 230.113(g), 230.121(e), 230.204(g)(6)

Quarterly Office of Civil Rights Program Team Civil Rights Division office reviews

and comments.

26


Office

FHWA Division

Responsible Program

Office



Prepare / Review Annual Contractor Employment Report (Construction Summary of Employment Data (Form PR-1392)

23 CFR 230.121(a); Appendix D to Subpart A, Part 230, General Information and Instructions

Annually 1-Dec Office of Civil Rights Program Team Civil Rights Recommendation sent

to HQ for approval.

Prepare / Review State DOT Employment Statistical Data (EEO-4)

23 CFR, Subpart C, Appendix A Biannual 1-Dec Office of Civil

Rights Program Team Civil Rights

Report sent to HQ quarterly for informational purposes and recommendation sent to HQ annually for approval.

Prepare / Review Annual Federal Projected Awards Reports - Historically Black Colleges & Universities/Tribal Colleges & Universities/Hispanic Serving Institutes, American Indian Alaskan Native, Asian Pacific & American Islander.

Presidential Executive Orders: 13230, 13256,13270, 13361, 13515

Annual TBA Office of Civil Rights Program Team Civil Rights

Divisions submit data to HCR who prepares report for DOCR

Prepare / Review ADA Complaint Reports of Investigation

28 CFR 35.190 As needed Not Applicable

Office of Civil Rights Program Team Civil Rights

Division office reviews, FHWA HQ approves and issues finding.

Review Americans with Disabilities Act (ADA) /Sec. 504 Program Plan accomplishments and next year's goals

49 CFR 27.11(c), 12250

EO Annually 1-Oct Office of Civil Rights Program Team Civil Rights Division office reviews

and comments.

Return of unexpended funds used for Summer Transportation Institutes

23 CFR 230.117(2) Annual

August 30; however,

State procurement

rules may govern

Office of Civil Rights Program Team Civil Rights Divisions work with

HCR and CFO

27

FHWA


Office


Program Office



Prepare / Review Request for National Summer Transportation Institute (NSTI) Proposals (SOWs)

23 USC 140(b) Annual TBA Office of Civil Rights Program Team Civil Rights

Divisions recommend approval. HCR gives final approval

Prepare / Review NSTI Report (questionnaire) 23 USC 140(b) Annual October

15th Office of Civil

Rights Program Team Civil Rights Divisions HCR

provide to

Receipt of State Consultation Process Tribal Governments

with 23 CFR 450.210(c) As needed Not Applicable

Office of Federal Lands Highway Leadership Team Planning/ Legal Informational Purposes.

Approval of Contracting Procedures for Consultant Selection

23 CFR 172.5 & 172.9 As needed Not Applicable

Office of Infrastructure Program Team Administration/

Engineering FHWA Division Office Approval.

Determination of High Risk Categories - Limitation on Interstate Projects

23 USC 106(c)(4)(B) As needed Not Applicable

Office of Infrastructure Leadership Team Engineering/ Planning

Office of Program Administration determines national categories and must concur on any State designations.

Approval Program

of State 3R 23 CFR 625.4(a)(3), 23 USC 109(n) As needed Not

Applicable Office of

Infrastructure Program Team Engineering/ Planning FHWA Division Office Approval.

Verify adoption of Design Standards (National Highway System, including Interstate)

23 CFR 625, 23 USC 109(b), 23 USC 109(c)(2), 23 USC 109(o)


Office of Infrastructure Program Team Engineering FHWA HQ regulatory

action to adopt NHS standards.

Approval of preliminary plans of Major and Unusual Bridges on the Interstate Highway System

(M1100.A) As needed Not Applicable

Office of Infrastructure Program Team Engineering

Director of HIBT has approval of preliminary plans of Major and Unusual Bridges on the Interstate Highway System (M1100.A)

Approval of State Standard Specifications 23 CFR 625.3 As needed Not


Infrastructure Operations Team Engineering FHWA Division Office Approval.

Verify State Design Exception Policy complies with FHWA Policy


Office of Infrastructure Program Team Engineering FHWA Division Office

Approval.

28

FHWA


Office


Program Office



Approval of State Standard Detail Plans 23 CFR 625.3 As needed Not


Infrastructure Program Team Engineering FHWA Division Office Approval.

Approval of Pavement Design Policy 23 CFR 626.3 As needed Not



Review of Value Engineering Policy and Procedures

23 CFR 627.1(b)&(c), 23 CFR 627.7 FHWA Order 1311.1B


Office of Infrastructure Program Team Engineering FHWA Division Office

Review.

Review of Value Engineering Annual Report 23 CFR 627.7, FHWA

Order 1311.1B

Annual Not Applicable


FHWA Division Office collects, reviews, and submits to HQ for review and reporting.

Review and Approval Interstate Access Requests

of 23 USC 111, 23 CFR 710, 74 FR 43743-43746 (Aug. 27, 2009)



FHWA Division Office approval with concurrence from HQ on more complex access requests.

Approval of Liquidated Damages Rate 23 CFR 635.127 Every 2 years Not



Approval of Quality Assurance Program 23 CFR 637.205 As needed Not


Infrastructure Operations Team Engineering

State administers, with programmatic agreement by the Division Office, as part of their materials testing and construction quality assurance/acceptance program.

Assure Central Laboratory accredited by AASHTO Accreditation Program or FHWA approved comparable program


Office of Infrastructure Operations Team Engineering


29

FHWA


Office


Program Office



Assure Non-STD designated lab performing Independent Assurance sampling and testing accredited by AASHTO Accreditation Program or FHWA approved comparable program




Assure Non-STD designated lab used in dispute resolution accredited by AASHTO Accreditation Program or FHWA approved comparable program




Review Independent Assurance Annual Report 23 CFR 637.207 Annually 1-Mar Office of

Infrastructure Operations Team Engineering


Assure Labor Compliance - Prevailing Wage Rate 23 USC 113 As needed Not


Infrastructure Program Team Engineering FHWA Division Office Review and Approval

Determination of Eligible Preventive Maintenance Activity - Cost-Effective Means of Extending Useful Life Determination

23 USC 116(e) As needed Not Applicable


FHWA Division Office Approval

Approval of Utility Agreement / Alternate Procedure


Office of Infrastructure Operations Team Engineering FHWA Division Office

Approval

30


Office

FHWA Division

Responsible Program

Office



Approval of Utility Accommodation Policy

23 CFR 645.215, 23 USC 109(l), 23 USC 123


Office of Infrastructure Operations Team Engineering FHWA Division Office

Approval

Review Bridge Construction, Geotechnical, and Hydraulics

23 CFR 650 As needed Not Applicable


Review Plans of Corrective Action established to address NBIS compliance issues

23 CFR 650, 23 USC 144 Annually Office of

Infrastructure Program Team Engineering Division office performs annual compliance review and reports results to HQ.

Review NBI Data Submittal

23 CFR 650 Subpart C, Annual Memo from HQ, 23 USC 144

Annually 1-Apr Office of Infrastructure Program Team Engineering

Division resolve errors with States; States submit to HQ.

Review structurally deficient bridge construction Unit Cost submittal 23 USC 144

Annually 1-Apr Office of Infrastructure Program Team Engineering Submit to HQ.

Review Section 9 of Rivers and Harbors Submittals (Bridge Permits)

the Act 23 CFR 650 Subpart

H; 33 CFR 114 & 115 As needed Not Applicable


Approval for reduction of expenditures for off-system bridges

23 USC 133(g)(2)(B) As needed Not Applicable

Office of Infrastructure Program Team Engineering/ Planning/

Administration

The FHWA Administrator, may reduce the requirement for expenditures for off-system bridges if the FHWA Administrator determines that the State has inadequate needs to justify the expenditure.

Determination on Adequacy of State's Asset Management Plan

23 USC 119(5)

Annually beginning

second fiscal year after

establishment of the process

Office of Infrastructure Program Team Planning

31


Office

FHWA Division

Responsible Program

Office



Certification and Recertification of States Process for Development of State Asset Management Plan

23 USC 119(6)

Recertification every four years after

establishment of the process


Review Reporting on Performance Targets 23 USC 150(e)

Beginning four years after

enactment of MAP-21 and

biennially thereafter


Review National Highway System Performance Achievement Plan for Actions to achieve the targets (when State does not achieve or make significant progress toward achieving)

23 USC 119(7)

Required if State does not achieve targets (or significant progress) for 2

consecutive reports


States and sub-recipient failure to maintain projects - Notice and withholding Federal-aid Funds

23 USC 116(d) As needed Not Applicable

Office of Infrastructure Operations Team Maintenance

Emergency Relief (ER) Damage Assessments and Reports

23 CFR 668 23 USC 120 and 125 As needed Not


Infrastructure Operations Team Planning Perform with State.

Toll Credit and Maintenance of Effort (MOE) Calculation and Agreement

23 USC 120(i) Annually Office of Infrastructure Operations Team Administration

State will calculate the amount of eligible toll credit and submit for approval. FHWA will review and approve the request.

32

FHWA


Office


Program Office



States are responsible to ensure that LPAs are aware of all the

Local Public Agency (LPA) Oversight

2 CFR 200.331;; 23 USC 106(g)(4) As needed Not


Infrastructure

applicable Federal-aid Program requirements; States are responsible to ensure monitoring and oversight to assure compliance with Federal requirements. 23 USC further

Operations Team Administration

reinforces stressing accountability on “project delivery systems” and “accounting controls.”

Approval to Sell, Lease or Otherwise Dispose of a Ferry Purchased with Federal-aid Funds

23 USC 129 (c)(6) As needed Not Applicable


Planning

Division Office reviews and submits for Office of Program Administration for Administrator Approval

Territorial Highway Program - Approval of Territory Agreement

23 USC 165(c)(5)

Reviewed and Revised as

needed every two years


Planning

Division Office works with Office of Program Administration and HCC

TIFIA Credit Program 23 USC 601-609 As needed Not Applicable

Office of Innovative Program Delivery

Administrative Team

Administration/ Planning

Project sponsors submit requests for credit assistance to the TIFIA JPO for review; approval by the Secretary

GARVEEs 23 USC 122; GARVEE Guidance 3/14



Administrative Team


MOUs strongly suggested for each GARVEE issue. FM contacts OIPD for review/concurrence before final approval

33


Office

FHWA Division

Responsible Program

Office



State Infrastructure Banks NHS Act Section 308; 23 USC 610; SIB Guidance 3/14

Annual Report Not Applicable


Administrative Team


Division sends copy of report to OIPD. SIB submits annual report to Division Office.

Section 129 Tolling Authority Requests 23 USC 129(a) As needed Not

Applicable Office of Innovative Program Delivery Program Team Administration/

Planning

At the option of the project sponsor, may execute a Tolling Eligibility MOU with the Division Office; HIN coordinates FHWA HQ review

Section 166 HOV/HOT Lanes Tolling Authority Requests

23 USC 166(d) As needed Not Applicable

Office of Innovative Program Delivery Program Team Administration/

Planning

At the option of the project sponsor, may execute a Tolling Eligibility MOU with the Division Office; HIN coordinates FHWA HQ review

Value Pricing Pilot Program Tolling Authority Requests

ISTEA Section 1012(b) As needed Not

Applicable Office of Innovative Program Delivery Program Team Administration/

Planning

Requests submitted to HIN to coordinate review; approval by the Administrator

Interstate System Reconstruction and Rehabilitation Pilot Program Tolling Authority Requests

TEA-21 Section 1216(b) As needed Not

Applicable Office of Innovative Program Delivery Program Team Administration or N/A

Applications submitted to HIN to coordinate review; approval by the Administrator

Annual Audit of Toll Facility Records and Certification of Adequate Maintenance - Report Submittal

23 USC 129(a)(3)(B); TEA-21 Section 1216(b)(5)(B); SAFETEA-LU Section 1604(b)(3)(A); ISTEA Section 1012(b)(3)

Annually Office of Innovative Program Delivery

Administrative Team Administration Division Office to

receive the reports.

34


Office

FHWA Division

Responsible Program

Office



Project Management Plan (Major Projects) 23 U.S.C. 106(h)(2)

Prior to first federal

authorization of construction funds for a

Major Project

Not Applicable


Division Office will conduct concurrent

review with HQ Office of

Innovative Program Delivery.

State DOT or Project Sponsor will prepare and submit Project Management Plan.

Division Office will provide approval after receiving concurrence from HQ Office of Innovative Program Delivery.

Financial Plan (Major Projects) 23 U.S.C. 106(h)(3)


authorization of construction funds for a

Major Project and then annually.

Annually as noted in the approved

Initial Financial

Plan


Division Office will conduct concurrent

review with HQ Office of

Innovative Program Delivery.

State DOT or Project Sponsor will prepare and submit annual Financial Plans.

Division Office will provide approval after receiving concurrence from HQ Office of Innovative Program Delivery.

Financial Plan (Other Projects) 23 U.S.C. 106(i)


authorization of construction funds for an

Other Project and then annually.

Annually as noted in the approved

Initial Financial

Plan


Division Office will review and

approve Financial Plans for Other

Projects in accordance with its

stewardship and oversight

agreement with the State DOT or

Project Sponsor.

State DOT or Project Sponsor will prepare and submit annual

Financial Plans to the Division Office, only

upon request.

Other Projects are defined as projects with an estimated total cost of $100 million or more that have not been designated as Major Projects.

Review Designation and Re-designation of Primary Freight Network

23 USC 167(d)

One year after enactment of MAP-21 and

every ten years thereafter

Office of Operations Program Team Planning

Under development, initial PFN designation scheduled for Spring 2014 completion.

Review Development and Update of National Freight Strategic Plan

23 USC 167(f)

Three years after

enactment of MAP-21 and

every five years

thereafter

Office of Operations Program Team Planning OST lead

35


Office

FHWA Division

Responsible Program

Office



Review Freight Transportation Conditions and Performance Report

23 USC 167(g)

Two years after enactment of MAP-21 and

every two years

thereafter

Office of Operations Program Team Planning OST lead

Review HOV Operations Report for Tolled Use and Low-Emission and Energy-Efficient Vehicle Use

23 USC 166(d) Annually Office of Operations Program Team N/A

Congestion Partnerships Assessment

Annual HQ

Memo from Annually 1-Jul Office of Operations Program Team Planning Complete with partners

and forward to HQ.

Traffic Incident Management Self-Assessment

Annual HQ

Memo from Annually 1-Jul Office of Operations Program Team Engineering Complete with partners

and forward to HQ.

Work Zone Self-Assessment

Annual HQ

Memo from Annually

7/1/2013, This project is currently on hiatis

and has not been

determined

Office of Operations Program Team Engineering Complete with partners

and forward to HQ.

whether it will be

restablished or not.

Approval of State-Prepared Manual on Uniform Traffic Control Devices - State Traffic Control Manuals

23 CFR 655.603, 23 USC 109(d) As needed Not


Operations Program Team Engineering

Review Vehicle Size & Weight Enforcement Plan

23 CFR 657.11, 23 USC 127 Annually 1-Oct Office of

Operations Operations Team MCS

Review Vehicle Size & Weight Enforcement Certification

23 CFR 657.13, 23 USC 141 Annually 1-Jan Office of

Operations Operations Team MCS

Approval of National Network Modifications 23 CFR 658.11 As needed Not


Operations Program Team Planning

36


Office

FHWA Division

Responsible Program

Office



Intelligent Transportation System Architecture & Standards

23 CFR Part 940 As needed Not Applicable

Office of Operations Program Team Engineering/ MCS

Approval of Work Zone Significant Project Determination

23 CFR 630.1010 As needed Office of Operations Program Team Engineering

Approval of Exceptions to Work Zone Procedures for Interstate Projects

23 CFR 630.1010 As needed Office of Operations Program Team Engineering

Approval of Work Zone Policy and Procedures Conformance Review

23 CFR 630.1014 At appropriate intervals Office of

Operations Program Team Engineering

Process Review of Work Zone Safety and Mobility Procedures

23 CFR 630.1008, 23 USC 109(e)(2), 23 USC 112(g)

Every 2 years Office of Operations Program Team Engineering

Approval of State Planning Work Program and Revisions (Part 1)

23 CFR 420.111, 23 CFR 420.115, and 23 CFR 420.209

Annually Prior to

Program Period

Office of Planning, Environment &

Realty Program Team Planning FHWA Division Office

Approval.

Approval of State Research and Development Work Program (Part 2)

23 CFR 420.111, 23 CFR 420.115, and 23 CFR 420.209

Annually Prior to

Program Period


Realty Program Team Engineering FHWA Division Office

Approval.

Approval of State's Distribution of Planning Funds Formula - Allocation Formulas for PL Funds

23 CFR 420.109, 23 USC 104(d)(2)(A)(i) When Revised Not

Applicable


Realty Program Team Planning FHWA Division Office

Approval.

Review of State Public Involvement Procedures 23 CFR 450.210(a) As needed Not

Applicable


Realty Program Team Planning

FHWA Division Office Review to Assure Compliance.

Receipt of State Consultation Process for Non- metropolitan Local Officials

23 CFR 450.210(b) As needed Not Applicable


Realty Program Team Planning Informational Purposes.

37

FHWA FHWA HQ Division State DOT

Activity Authority Frequency Due Date Program Responsible Responsible Remarks Office Program Program Office

Office Review of Long-range Statewide Transportation Plan




FHWA Division Office Review to Assure Compliance.

Approval of Statewide Transportation Improvement Program (STIP)

23 CFR 450.216, 23 CFR 450.218(a) & (c), 23 USC 135(g)(7)

At least every 4 years

Not Applicable


Realty Program Team Planning Joint FHWA and FTA

approval.

Approval of STIP Amendments

23 CFR 450.218(a) & (c) As needed Not

Applicable



approval.

Finding of Consistency of Planning Process with Section 134 and 135

23 USC 135(g)(8), 23 CFR 450.218(b)

Concurrent with STIP approval

Not Applicable



FHWA and FTA issue a joint finding concurrent with STIP approval.

Review of State Self-certification that Planning Process is in Accordance with Applicable Requirements

23 CFR 450.218(a)

Submitted with proposed STIP

or STIP amendments

Not Applicable


Realty Program Team Planning Received with STIP.

Approval of Transportation Management Area (TMA) MPO Unified Planning Work Programs (UPWP)

23 CFR 450.308(b) and 23 CFR 420 (Subpart A)

Prior to Program End

Not Applicable



Approval UPWA

of Non-TMA 23 CFR 450.308(b) and 23 CFR 420 (Subpart A)

Prior to Program End

Not Applicable


Realty Program Team Planning May use simplified work

statement.

Approval of UPWP Revisions and Amendments (All MPO's)




Review of UPWP Performance and Expenditure Reports (All MPO's)

23 CFR 420.117(b) Not more

frequently than quarterly

Not Applicable



Approval of Report Before Publication (All MPO's) 23 CFR 420.117(e) As needed Not

Applicable


Realty Program Team Planning Waiver may be granted.

38


Office

FHWA Division

Responsible Program

Office



Approval to use Planning Funds outside Urbanized Areas for States Receiving Minimum Apportionment

23 USC 104(d)(1)(A)(ii) As needed Not

Applicable



Review of Metropolitan Planning Area Boundary (Establishment and Changes)




Approval by MPO and the Governor, shape files forwarded to HQ. (Comment: No action is required by FHWA/FTA).

Review of Metropolitan Transportation Planning Organizations (MPO) Designation and Re-designation




Require agreement between Governor and local governments.

Review of Metropolitan Planning Agreements (MPA) for Attainment or Entire Nonattainment Area

23 CFR 450.314(a) When Completed

Not Applicable



Between MPO/State DOT/Transit Operator. Included in UPWP or Prospectus (23 CFR 450.314(d)).

Review of MPA - for MPA that do not include the entire nonattainment or maintenance area

23 CFR 450.314(b), 23 USC 109(j)

When Completed

Not Applicable


Realty Program Team Planning Between MPO/State

DOT/State AQ Agency.

Review of MPO Public Participation Procedures 23 CFR 450.316(a) As needed Not

Applicable


Realty Program Team Planning Must be developed and

published.

Review of Metropolitan Transportation Plan (MTP) in Attainment Areas (and Updates)

23 CFR 450.322 Every 4 yrs Not Applicable



Review of MTP in Non-Attainment and Maintenance Areas (and Updates)

23 CFR 450.322 Every 5 yrs Not Applicable



39


Office

FHWA Division

Responsible Program

Office



Review of MTP Amendments 23 CFR 450.322(c) As Needed Not

Applicable



Air Quality Conformity Determination on LRTP in Non-attainment and Maintenance Areas

23 CFR 450.322(d)

Concurrent with LRTP updates at

least every 4 years and as needed on

amendments

Not Applicable



After receipt of MPO determination; Joint FHWA and FTA determination; In consultation with the Environmental Protection Agency (EPA).

Review of Transportation Improvement Program (TIP)

23 CFR 450.300(a); 23 CFR 450.324(b); 23 CFR 450.328(a), 23 USC 134(j)(1)(D)

Prior to Program Period

Not Applicable



No succinct Federal approval action is required for the TIP. FHWA/FTA approval of the TIP is through the STIP approval process.

Review of TIP Amendments

23 CFR 450.324(a); 23 CFR 450.328(b) As needed Not

Applicable



No succinct Federal approval action is required for the TIP. FHWA/FTA approval of the TIP is through the STIP approval process.

Approval of Air Quality Conformity Determination on TIP

23 CFR 450.326; 23 CFR 450.328

At least every 4 years, or when

the TIP has been modified (unless exempt

projects)

Not Applicable



Applies to non-attainment and maintenance areas only. After receipt of MPO determination, joint determination with FTA (in cooperation with EPA).

Federal Finding of Consistency of Planning Process with Section 134 and 135

23 CFR 450.218(b); 23 CFR 450.334(a)

Concurrent with (S)TIP submittal

Not Applicable



At least every four years, joint finding with FTA when TIP is submitted.

40


Office

FHWA Division

Responsible Program

Office



In Metropolitan Planning Areas, Review of State and MPO Self-certification that Planning Process is in Accordance with Applicable Requirements

23 CFR 450.334 (a), 23 CFR 218(a)

Annually or concurrent with the STIP/TIP

cycle

Not Applicable



Required for all MPO's. May be included in the STIP, TIP, or UPWP, at least every 4 years.

In TMA's, Certification that Planning Process is in Accordance with Applicable Requirements

23 CFR 450.334(b), 23 USC 134(k)(5) Every 4 yrs



Certification.

Approval of Federal-Aid Urban Area Boundaries

23 CFR 470.105 (a), 23 USC 101(a)(33) As needed Not

Applicable



Approval of Revision of Functional Classification 23 CFR 470.105 (b) As needed Not

Applicable



Approval by Administrator of Interstate Additions & Revisions

23 USC 103(c)(1)(D), 23 CFR 470.111, 23CFR 470.115 (a)



Realty Program Team Planning Approval by HQ

Administrator. –

Approval by Office Director of National Highway System (NHS) Additions and Revisions

23 USC 103(b)(3), 23 CFR 470.113 and 470.115(a)



Realty Program Team Planning Approved by HQ -

Office Director.

Review of CMAQ Report

Annual CMAQ Guidance Memo October 31, 2006

Annually 1-Mar Office of Planning,

Environment & Realty

Program Team Planning

Division provides information on CMAQ projects including: amount of obligation, project description and location, and air quality benefits. The report must be submitted via the web-based CMAQ Tracking System.

41


Office

FHWA Division

Responsible Program

Office



Transportation Planning Excellence Awards Annually 1-Feb



Call for entries for the FHWA FTA Transportation Planning and Excellence Awards.

Approval of Local Technical Assistance Program (LTAP) Centers Work Plan and Budget

FHWA LTAP Field Manual Annually 31-Mar


Realty Program Team Planning FHWA HQ approval.

Approval of Public Involvement Program Procedures

23 CFR 771.111(h), 23 USC 128 As needed Not

Applicable



Approval of NEPA Procedures, including Section 4(f)

23 CFR 771; 23 CFR 774; SAFETEA-LU 6007 & 6009, 23 USC 109(h)




Approval of Noise Policies 23 CFR 772.7, 772.9, and 772.13, 23 USC 109(i)



Realty Program Team Planning FHWA approves State'

noise abatement policy.

EIS Status Updates FHWA Strategic - EIS Timeliness

Goal Quarterly

(Fiscal Year - Oct, Jan, Apr, Jul)



Monitor time required to complete EIS's. Determine projects which have exceeded recommended timeline (3 years). Identify projects which should be listed as dormant. Submit to HEPE.

Endangered Species Act Cost Report Annually 1-Mar



Exemplary Ecosystem Initiatives Applications Annually 1-Apr



42


Office

FHWA Division

Responsible Program

Office



Approval of Acquisitions, Appraisals, and Relocations Program and Procedures

49 CFR Part 24, The UA As needed Not

Applicable


Realty Program Team Engineering

Early Acquisitions 23 CFR 710.501 As needed Not Applicable



Local Public Agency Oversight

49 CFR 24.4(b); 23 CFR 710.201 As needed Not

Applicable


Realty Operations Team Engineering

Approval of Highway Facility Relinquishment 23 CFR 620.203 As needed Not

Applicable



Approval of ROW Disposal Authorization Request




Approval of ROW Operations Manual (Organization, Policies and Procedures), Updates, and Certification

23 CFR 710.201

January 1, 2001 and every

3 years thereafter or as

required by changes in State law or

Federal regulation or

law

Not Applicable



Approval of Exception to Charging Fair Market Value

23 CFR 710.403 and 23 CFR 710.409 As needed Not

Applicable



Approval of Interstate Real Property Use Agreements




Approval of Request for Federal Land Transfer 23 CFR 710.601 As needed Not

Applicable



43


Office

FHWA Division

Responsible Program

Office



Approval of Request for Direct Federal Acquisition 23 CFR 710.603 As needed Not

Applicable



Approval of Outdoor Advertising Policies anProcedures, and Regulation and ProceApproval

d

dure

23 CFR 750.304, 23 CFR 750.705, 23 USC 131




Approval of Requests to Exempt Certain Nonconforming Signs, Displays, and Devices




Approval of Railroad Agreement Alternate Procedure




Approval of Uniform Act Waivers and Waivers from Availability of Comparable Replacement Dwelling before Displacement

49 CFR 24.7, 49 CFR 24.204(b) As needed Not

Applicable



Requests reviewed and approved by HEPR Office Director.

Review of Uniform Relocation Assistance & Real Property Acquisition Report -(OMB Form 2125-0030)

49 CFR 24.9c & Appendix B 49 CFR 24.603

Annually 15-Nov Office of Planning,


Program Team Engineering Submitted to FHWA Headquarters (HQ).

Review of Real Property Acquisition Statistical Report

FHWA Order 6540.1 Annually 15-Nov Office of Planning,


Program Team Engineering

Approval of Management Process and Project Selection Procedures and Certification for Research, Development & Technology Transfer Program and Revisions to Process

23 CFR 420.115 and 23 CFR 420.209 As needed Not

Applicable



Approval.

44


Office

FHWA Division

Responsible Program

Office



Periodic Review of States Management Process of the Research, Development & Technology Transfer Program

23 CFR 420.209 Periodic Not Applicable



Periodic Review.

Approval of Performance and Expenditure Reports for SPR Research Work Programs

23 CFR 420.117

No less frequently than annual and no

more frequently than

quarterly

90 Days After End Of

Period



Approval.

Approval reports

of SPR research 23 CFR 420.117

Prior to publication unless prior approval is

waved

Not Applicable



FHWA Division Office Approval unless waived.

Annual Traffic Reports

Traffic Monitoring Analysis System and Traffic Monitoring Guide reporting

When Published As needed Office of Highway

Policy information Program Team Planning When Published

Approval of Annual Field Review Report

HPMS Field Review Guidelines (June 2001) Continuous Process Improvement Model for HPMS( February 2003)

Annually 1-Nov Office of Highway Policy information Program Team Planning Review memo to HQ.

Approval of Certified Public Road Mileage 23 CFR 460.3(b) Annually 1-Jun Office of Highway

Policy information Program Team Planning

Each year, the Governor of each State

and territory or a designee must certify

Public Road Mileage. FHWA division

reviews the Mileage and sends to HQ with

division review/concurrence. This is reported to

NHTSA for Apportionment of

Safety Funds.

45


Office

FHWA Division

Responsible Program

Office



Approval of Submittal

Data 23 CFR 420.105(b), HPMS Field Manual Annually 15-Jun Office of Highway

Policy information Program Team Planning State DOT sends directly to Division Office and HQ.

Highway Statistics Reports

Guide to Reporting Highway Statistics Office of Highway

Policy information Program Team Planning State DOT of Division Office sends directly to HQ.

Motor Fuels Report A Guide to Reporting Highway Statistics, Chapter 2

Due 60 days after end of

each reporting month

Office of Highway Policy information Program Team Administration

Vehicles and Drivers (561, 562, 566, and 571)

A Guide to Reporting Highway Statistics, Chapters 3, 4, 5, and 6

1-Apr 1-Apr Office of Highway Policy information Program Team Planning

Finance (531, 532, 541, 542, and 543 (optional)

A Guide to Reporting Highway Statistics, Chapters 8 and 9

1-Apr 1-Apr Office of Highway Policy information Program Team Administration

Transportation Bond Referendums

A Guide to Reporting Highway Statistics, Chapter 9

When Published

When Published

Office of Highway Policy information


State DOT / Toll Authority Audits and Published Annual Reports and Form 539 (optional)


When Published

When Published


Administrative Team Administration Annually, Due as

as available. soon

Finance (536) A Guide to Reporting Highway Statistics, Chapter 11

30-Sep 30-Sep Office of Highway Policy information


Biennially for odd-numbered years. Due nine months after end of reporting year

Finance (534) A Guide to Reporting Highway Statistics, Chapter 12

15-Jun 15-Jun Office of Highway Policy information


Annually for State, Biennially for local

Highway Finance and Tax Legislation


When Published

When Published



State DOT Budgets and Published Annual Reports


When Published

When Published



46


Office

FHWA Division

Responsible Program

Office



Motor Fuel Oversight Review

July 24, 2001 HQ Memo

Initial baseline reports no later than December 31, 2003

Office of Highway Policy information Program Team Administration

Annual progress reports and statement of verification by June 30. Submitted via UPACS.

Review of Biennial - Toll Facilities in the United States

23 CFR 450.105(b) HPMS Field Manual

Biennially - Odd Years

June 15 (Odd Years)

Office of Highway Policy information Program Team Administration/

Planning Division Office sends to HQ.

State Highway (Tourist)

Maps When Published

When Published

Office of Highway Policy information Program Team Planning

Two copies to each Division Office and 100 copies to HQ.

Traffic Flow Maps When Published Office of Highway

Policy information Program Team Planning When Published.

Vehicle Classification Data

MAP-21, HPMS Field Manual, Traffic Monitoring Guide

15-Jun 15-Jun Office of Highway Policy information Program Team Planning Part of Annual HPMS

submittal.

Highway Use Tax Evasion Grant Awards 23 USC 143 Annual Not

Applicable Office of Highway Policy information Program Team MCS/ Administration

FHWA along with the Internal Revenue Service will review

applications and select awardees for projects designed to reduce or

eliminate fuel tax evasion. FHWA will also review annual progress reports on

projects.

47


Office

FHWA Division

Responsible Program

Office



Heavy Vehicle Use Tax (HVUT) – Certification of

verifying proof-of-payment of HVUT

23 CFR 669.7 1-Jul 1-Jul Office of Highway Policy information Program Team MCS/ Administration

Each year, the Governor of each State,

or a designee must certify that the State is verifying that the HVUT has been paid before they issue or renew

registrations on vehicles over 55,000

lbs. The HVUT program is

administered by the Internal Revenue

Service.

Heavy Vehicle Use Tax (HVUT) – Certification of

verifying proof-of-payment of HVUT

23 CFR 669 Annual 1-Jan Office of Highway Policy information Program Team MCS/ Administration

Each year, the Governor of each State,

or a designee must certify that the State is verifying that the HVUT has been paid before they issue or renew

registrations on vehicles over 55,000



Service.

48


Office

FHWA Division

Responsible Program

Office



Heavy Vehicle Use Tax (HVUT) – Triennial review

of State program 23 CFR 669.21 Triennial Not

Applicable Office of Highway Policy information Program Team MCS/ Administration

Every 3 years, the local Division Office will

perform a review of the State process for

verifying that the HVUT has been paid before a

registration can be issued or renewed for vehicles over 55,000



Service.

Permanent ATR Data Heavy Vehicle Travel Information System Field Manual

Monthly Monthly Office of Highway Policy information Program Team Planning

Submit monthly, within 20 days after the close of the month for which the data were collected.

Continuous Automatic Vehicle Classifier Data

Heavy Vehicle Travel Information System Field Manual

Monthly Monthly Office of Highway Policy information Program Team Planning Send up to one week of

data per quarter

Weight and Vehicle Classification Data Collected at Weigh-in-motion sites

Heavy Vehicle Travel Information System Field Manual

15-Jun As needed Office of Highway Policy information Program Team Planning

WIM data collected at non-continuous sites during a year should be submitted by June 15 of the following year. If continuous WIM data are available, then up to one week of data per quarter.

Approval of MAP-21 compliant SHSP update within the legislatively required timeframe.

23 U.S.C. 148 (d)(2)(B) Non Recurring

By Aug. 1 of the fiscal year after the HSIP

final rule is established

Office of Safety Program Team Planning

FHWA Division Offices provide copy of SHSP process approval letter to HQ.

49


Office

FHWA Division

Responsible Program

Office



Highway Safety Improvement Program (HSIP) and Railway-Highway Crossing Program (RHCP) Reports

23 USC 148(h), 23 CFR 924.15 Annually 31-Aug Office of Safety Program Team Engineering

As per MAP-21 guidance, reports are due to FHWA Division Office by August 31st, and to the Office of Safety by September 30.

Transportation Performance Management (TPM) for Safety

23 USC 150, 23 USC 134, 23 USC 135, 23 USC 148(i)

Annually 31-Aug Office of Safety Program Team Planning

Per MAP-21, States and MPOs must set targets for established measures. Targets must be assessed for achievement

Review Drug Offender Driver's License Suspension Law & Enforcement Certification (Section 159)

23 USC 159 23, CFR 192.5 Annually 1-Jan Office of Safety Program Team Planning

Certifications due to the Division Office by January 1.

Section 154/164 Compliance Status - Funds Reservation

23 USC 154 and 23 USC 164 Annually 30-Oct Office of Safety Program Team Planning

States must submit a Shift letter to the Division Office by Oct. 30 indicating how to apply the penalty. New penalty states have additional time. The Office of Safety processes the compilation of information in a memo to the CFO.

Review Safety Belt Compliance Status

23 USC 153, 23 CFR 1215.6 Annually Annually Office of Safety Program Team Planning NHTSA

High Risk Rural Roads (HRRR) Special Rule 23 USC 148(g)(1) Annually Annually Office of Safety Program Team Engineering/ Planning

After the final FARS and HPMS data are available, FHWA HQ will inform the States if the HRRR Special Rule applies for the following FY.

50


Office

FHWA Division

Responsible Program

Office



Older Drivers and Pedestrians Special Rule 23 USC 148 (g)(2) Annually 31-Aug Office of Safety Program Team Planning

States should include their annual HSIP reports (due August 31st) the calculations performed, verifying whether the Older Driver Special Rule applies in the State. If the Special Rule applies to a State in a given year, the State

in

must include in its subsequent SHSP strategies to address the increases in the fatality and serious injury rates for drivers and pedestrians over the age of 65.

FHWA Emergency Preparedness Program

Executive Order 12656 and FHWA Order 1910.2C


Office of Operations Program Team Maintenance National Programs.

51

ATTACHMENT C MANUALS

The Montana Department of Transportation (MDT) publishes numerous manuals, guidelines and procedures for use in the development of Federal-aid Highway Program (FAHP) projects. Most manuals, guidelines and procedures are available on the MDT publications website.

Through the delegation of responsibility to State Departments of Transportation, the Federal Highway Administration (FHWA) accepts these manuals, guidelines and procedures for designing, constructing and maintaining FAHP projects. The Montana Division of FHWA reviews the following list of manuals.

1. Materials Manual a. FHWA reviews and approve changes as they are submitted periodically; the annual

action constitutes approval of the Quality Assurance Program as required at 23 CFR 637.205a and 23 CFR 637.207.

2. Right of Way Manual a. Notification of changes provided to FHWA Right of Way (ROW) Specialist before

publication, with an opportunity to review and provided comments. b. Every 5 years MDT must provide a certification to FHWA ROW Specialist.

3. Geotechnical Manual

a. Summary of changes distributed to FHWA Materials Engineer annually with opportunity to review and provide comments.

4. Road Design Manual a. Notifications of changes provided to FHWA Design Engineer before publication,

with an opportunity review and provide comments. b. Any changes to roadway design standards for new and reconstruction on the NHS

requires FHWA approval.

5. Bridge (Montana Structures Manual and Bridge Design Standards) a. Summary of changes to either manual distributed to FHWA Structures Engineer

annually with opportunity to review and provide comments.

6. Consultant Services Manual a. Notification of major changes provided to FHWA Consultant Services Specialist before

publication, with an opportunity review and provided comments; MDT provides a summary of minor changes before or after publication.

b. Changes to selection or administration procedures that directly relate to the requirements of 23 CFR 172 – Administration of Engineering and Design Related Service Contracts – must receive prior FHWA approval.

7. Traffic Engineering Manual a. Notification of changes provided to FHWA Design Engineer before publication,

with an opportunity to review and provide comments.

52

8. Environmental Manual a. Notification of changes provided to FHWA Environmental Program Specialist before

publication, with an opportunity to review and provide comments.

9. Construction Administration Manual a. Notification of changes provided to FHWA Field Operations Engineer before

publication, with an opportunity to review and provide comments.

10. Hydraulics Manual (adopted AASHTO manual with changes to chapters 7, 9, 10 and 13) a. Notification of changes provided to FHWA Structures Engineer annually, with an

opportunity to review and provide comments.

11. Local Public Agency Guidelines Manual a. Notification of changes provided to FHWA Local Programs Specialist before publication,

with an opportunity to review and provide comments. b. Changes to selection or administration procedures that directly relate to the

requirements of 23 CFR 172 – Administration of Engineering and Design Related Service Contracts – must receive prior FHWA approval.

12. Standard Specifications for Road and Bridge Construction with applicable Standard Special Provisions and Supplemental Specifications

a. FHWA reviews and approves changes as they are submitted periodically, with a separate summary rollup and approval; the action constitutes approval of the construction and maintenance as required by 23 CFR Part 635 – Construction and Maintenance.

b. Approximately every 5 years, MDT publishes the MDT Standard Specifications for Road and Bridge Construction that includes all previously FHWA approved changes. FHWA approves this manual.

53

Attachment D Stewardship and Oversight Indicators

Asset Management Performance Goals

Since the late 1990s, MDT has been improving on an inclusive, performance-driven asset management system referred to as the Performance Programming Process or P3. Asset management is a process that uses management systems to manage infrastructure to meet established performance goals. Asset management is data-driven and based on agreed on policies regarding performance. The data comes from management systems for pavement, bridges, congestion, and safety. These systems continuously track system condition and recommend treatment options to maximize the life of the asset.

• At least 70% of the capital construction program is allocated to systems, districts,

and types of work and between asset categories (i.e. pavement and bridge) based on an annual performance-based allocation plan.

• System Performance measures on which this allocation plan is based are shown below:

MT P3 PERFORMANCE MEASURES Inter- NHS Primary

state Pavement Average Ride Desirable or Superior – All Arterial

% Miles below target <3% <3% <3% Congestion Level Of Service B C C Bridge Deficient Bridge Deck Reduce Reduce Reduce

(SQ FT) Number Number Number

Safety Fatalities Injuries

and Serious half by 2030, from 1704 to about 850

FAHP Management Performance Indicators

The following FAHP performance indicators will be reported on annually and used to determine areas of risk and accomplishment within the FAHP. Unless otherwise listed, performance tracking will be managed by MDT.

System Maintenance and Operation • Manage winter driving conditions to ensure 90 percent or more of Maintenance

Survey respondents are satisfied with MDT’s winter maintenance service. • 85% of roads under MDT jurisdiction will meet reflectivity standards for striping

by July 1 annually. • 90% of funding allocated for pavement work for the state maintenance program

will be allocated based on Pavement Management System analysis. Reported only if federal-aid funding is allocated for pavement work.

54

Construction Program • Percentage of all contracts with final estimate paid within 90 days of Final

Acceptance (Form CSB105_17_2 accepted) – Goal 90% (Note – this includes all contracts with a final walk-through after September 1, 2014)

• 85% of the projects obligated for construction are in the tentative construction plan for the fiscal year

• Maintain statewide average construction engineering costs under 10% of total contract costs.

• Maintain statewide final costs under 7% above award amount.

Financial Indicators • 100% compliance with FHWA measures for inactive project obligation rates.

Jointly tracked by MDT and FHWA. • 90% of all projects are final vouchered and closed within an average of 120 days of

project close date.

Environmental Indicators • Complete environmental documents within agreed upon schedules and

timeframes, barring unanticipated events. MDT will provide accurate schedules for the completion of NEPA documentation and approvals through bi-weekly updates of project schedules in OPX2

• FHWA will adhere to agreed-upon schedules and timeframes for the review of all environmental documentation submitted to the Division Office for review, action and/or approvals.

• Will achieve 100% implementation of environmental commitments stemming from (Report every 5 years):

o Terms and Conditions outlined in the issuance of a biological opinion for the purposes of compliance with Section 7 of the Endangered Species Act (as appropriate).

o Stipulations outlined in approved MOAs for the purposed of compliance with Section 106 of the National Historic Preservation Act (as appropriate), and

o Compliance with Executive Order 11990 and subsequent mitigation efforts, when impacts to wetlands are determined to be unavoidable (as appropriate)

Safety • Reductions in numbers and rates of fatalities and serious injuries • Reduce fatal and incapacitating (severe) injuries by half by 2030, from 1704 in

2007 to approximately 850 by 2030.

Transportation Planning • Ensure 50% of the public and transportation stakeholders perception of MDT’s

overall quality of service at an A or B level in our TranPlan 21 public involvement

55

surveys, which measures progress on the department’s long range multi-modal transportation plan.

• 70% of the construction projects programmed in the first year of the STIP are let. • 90% of the projects entering the program on the Interstate, Non Interstate-NHS,

and State Primary are consistent with P3 analysis.

STEWARDSHIP AND OVERSIGHT AGREEMENT ON PROJECT … · requests shall be documented in accordance...

Documents

Transcript of STEWARDSHIP AND OVERSIGHT AGREEMENT ON PROJECT … · requests shall be documented in accordance...